Registration Matters. (1) Each of the Acquiror's Subsidiaries required to be registered as a broker-dealer or investment advisor with the SEC, the securities commission or similar authority of any state or any Self-Regulatory Organization are duly registered and such registrations are in full force and effect. Each Broker-Dealer Subsidiary is, and at the Effective Time will be, a member in good standing with all required Self-Regulatory Organizations and in compliance with all applicable rules and regulations of the Self-Regulatory Organizations.
Appears in 2 contracts
Samples: Agreement and Plan of Merger (Kinnard Investments Inc), Agreement and Plan of Merger (Stockwalk Com Group Inc)
Registration Matters. (1) Each of the AcquirorCompany's Subsidiaries required to be registered as a broker-dealer or investment advisor with the SEC, the securities commission or similar authority of any state or any Self-Regulatory Organization are duly registered and such registrations are in full force and effect. Each Company Broker-Dealer Subsidiary is, and at the Effective Time will be, a member in good standing with all required Self-Regulatory Organizations and in compliance with all applicable rules and regulations of the Self-Regulatory Organizations.
Appears in 2 contracts
Samples: Agreement and Plan of Merger (Stockwalk Com Group Inc), Agreement and Plan of Merger (Kinnard Investments Inc)
Registration Matters. (1) Each of the Acquiror's Subsidiaries required to be registered as a broker-dealer or investment advisor with the SEC, the securities commission or similar authority of any state or any Self-Regulatory Organization (collectively, "Broker-Dealer Subsidiaries") are duly registered and such registrations are in full force and effect. Each Broker-Dealer Subsidiary is, and at the Effective Time will be, a member in good standing with all required Self-Regulatory Organizations and in compliance with all applicable rules and regulations of the Self-Regulatory Organizations.
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